Compliance Counsel II
3 days ago
Edward Jones is seeking a highly skilled Compliance Counsel to support the growth of its affiliated mutual fund complex. This role performs critical functions, including providing regulatory advice and guidance to Firm management, conducting initial and ongoing diligence on fund service providers, preparing and presenting quarterly reports to the funds' board of trustees, developing and maintaining policies and procedures, facilitating regulatory examinations, evaluating the impact of regulations relevant to the affiliated funds business, and performing compliance testing across the Firm.
Key Responsibilities- Partner with applicable business areas and service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures.
- Conduct periodic oversight reviews of compliance policies and procedures pursuant to Rule 38a-1 of the Investment Company Act and Rule of the Investment Advisers Act and provide written documentation of the results.
- Conduct ongoing oversight and diligence of mutual fund service providers.
- Review prospectuses, SAI, periodic reporting, advertising, and other disclosures.
- Develop and update compliance policies and procedures.
- Provide ongoing compliance support to the funds and the adviser.
- Facilitate regulatory examinations of the firm's Fund and Adviser affiliates.
- Juris Doctorate with exceptional academic credentials.
- License to practice law in state of Missouri or an equivalent state.
- Minimum of 3-5 years of progressive responsibility as an attorney in private practice, in the public sector, or in an in-house counsel capacity. A background in litigation and general knowledge of financial services is preferred.
- SIE exam, Series 7, 66, and 24, may be required within 12 months of hire based on the role.
- Ability to interpret and apply regulations relevant to diligence, oversight, and development and review of policies and procedures.
- Strong leadership and interpersonal skills are essential.
- Resolve complex issues through interpretation and application of industry regulations and firm business practices.
- Possess strong verbal and written communication skills.
This role requires travel through the use of commercial and motor vehicle transportation. A valid driver's license is required. Travel is estimated to be 15 trips per year for 2-3 days each, but may increase or decrease based on business needs.
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